Farhana Tabassum
Ottawa,ON
Summary
Award winning leader with over 13 years of experience in financial service industry with a strong focus on the Enterprise Governance Program, Regulatory Initiatives and Risk Management Framework.
Overview
13
13
years of professional experience
Work History
Manager/ Senior Analyst
TD Wealth Governance and Control
05.2021 - Current
- Act as the Governance and Control Lead for the 1st line Risk Mitigation Program for the TD Wealth including Change Management, Privacy, AML and Compliance.
- Established robust risk mitigation strategies to safeguard against potential operational challenges or disruptions.
- Provide strategic change advice to our businesses stakeholders on risk mitigation, designing controls, policies and procedures in collaborate with 2A partners.
- Guide our businesses with audit engagements to eliminate potential gaps in regulatory compliance.
- Led multiple regulatory initiatives including CFR and CPF to identify key risks, create mitigation plan, design new key controls, and liaise with control partners to enable the business for the successful delivery of key milestones while ensuring compliance with legal and regulatory requirements.
- Received Quarterly STAR award for being an exemplary leader - May 2022.
Team Manager
TD Wealth New Accounts Authorizations
05.2018 - 05.2021
- Led a large group of 40+ IIROC regulated Branch Managers who onboarded clients across TD Wealth businesses in compliance with regulatory requirements
- Managed Registration and Licensing with IIROC to ensure BMs maintain satisfactory standing by supervision and reporting on the NRD process, Outside Business Activities (OA), CSI courses and CE credits in a timely manner.
- Ensured compliance with industry regulations (CIRO, SEC, FATCA, QRS) and legal requirements by implementing comprehensive policies and training programs for staff.
- Acted as a mentor and helped employees reach their full potential by coaching, conducting performance reviews, implementing action plans and ensuring staff gain the needed skillsets to meet and exceed their career objectives.
- Received Quarterly STAR award for innovative leadership - May 2020
Team Manager
TD Wealth Private Trust Operations
12.2016 - 05.2018
- Led a team who provided operations support to TD Private Trust clients with assets gathering, account maintenance, helpdesk support, and trade validation activities.
- Improved operational efficiency by implementing streamlined processes and optimizing team workflows.
- Implemented risk management strategies to mitigate audit findings and operational disruptions by amending procedures and policies to meet quality verification requirements.
Team Lead/New Accounts Authorizations Officer
TD Wealth
08.2015 - 12.2016
- Signed off on personal and non-personal New Account applications to ensure new accounts meet applicable IIROC, FATCA, Audit, AML and other regulatory requirements
- Regularly assessed and performed workflow assignments to ensure department meets and exceeds daily SLAs.
Investment Representative
TD Direct Investing
07.2012 - 08.2015
Quality Analyst (Contract Role)
TD MBNA Card Services
11.2013 - 10.2014
Loyalty Analyst
TD MBNA Card Services
06.2011 - 07.2012
Customer Service Representative
MBNA Card Services
10.2010 - 06.2011
Education
Bachelor of Arts - Psychology
Carleton University
Ottawa, ON04.2010
Skills
- Advanced Communication
- People/Talent Management
- Change Management
- Policy/Procedure Design
- Operations Readiness
- Registration & Licensing
- Innovative Solution
- Risk Mitigation
Professional Development
Canadian Securities Course (CSC) | Conduct and Practices Handbook Course (CPH) | Derivatives Fundamentals and Options Licensing Course (DFOL) | Options Supervisors Course (OPSC) | Partners, Directors, and Senior Officers Course (PDO) | Lean Six Sigma – Yellow Belt
Timeline
Manager/ Senior Analyst
TD Wealth Governance and Control
05.2021 - Current
Team Manager
TD Wealth New Accounts Authorizations
05.2018 - 05.2021
Team Manager
TD Wealth Private Trust Operations
12.2016 - 05.2018
Team Lead/New Accounts Authorizations Officer
TD Wealth
08.2015 - 12.2016
Quality Analyst (Contract Role)
TD MBNA Card Services
11.2013 - 10.2014
Investment Representative
TD Direct Investing
07.2012 - 08.2015
Loyalty Analyst
TD MBNA Card Services
06.2011 - 07.2012
Customer Service Representative
MBNA Card Services
10.2010 - 06.2011
Bachelor of Arts - Psychology
Carleton University
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